+184. Competent authorities should focus on these sources of inherent risk, where relevant: a. …

184. Competent authorities should focus on these sources of inherent risk, where relevant: a. …

Competent authorities should focus on these sources of inherent risk, where relevant:

  • a. quantity and amount of client orders handled;
  • b. nature of underlying assets (OTC, more or less liquid…);
  • c. order types and characteristics (by blocks, fixed price…);
  • d. transmission or execution characteristics (electronic trading or by voice…);
  • e. transmission or execution processes and organisation (dedicated desks by asset class, sales-traders, trading on own account, market access…).

6.3.3 Assessment of Risk-to-Client management and controls

1. Overview

,

1.1 References

1.2 Identified Requirements

1.3 Related Standards

2. Identified Requirements

Requirements

3. Related Standards

Standards
  • EBA -

    EN: Guidelines and other publications of the European Banking Authority (EBA), https://www.eba.europa.eu/. © European Banking Authority. Reproduction is authorised provided the source is acknowledged (EBA legal notice). Divided into sections and converted into the GRCA format, the wording unchanged. Only the versions published by the EBA are authoritative.

    DE: Leitlinien und weitere Veröffentlichungen der Europäischen Bankenaufsichtsbehörde (EBA), https://www.eba.europa.eu/. © European Banking Authority. Wiedergabe mit Quellenangabe gestattet (Rechtlicher Hinweis der EBA). In Abschnitte aufgeteilt und in das GRCA-Format umgewandelt, der Wortlaut unverändert. Maßgeblich sind allein die von der EBA veröffentlichten Fassungen.